Compliance Manager - 40 ACT

Will consider a relocation within the North East.

A world renowned asset management firm, seeks a technically savvy compliance manager. This is a highly visible position that will report directly to the Chief Compliance Officer. Your profile should include 5 to 10 years of compliance experience in financial services.

Responsibilities:

• Address compliance and risk related issues, questions and concerns.


• Develop and implement compliance requirements such as development of allocation procedures or operational controls.


• Partner with business lines to ensure their compliance and represent them to the regulators.


• Work with audit to identify business risks and document controls.


• Provide input into risk matrices maintained by audit.


• Review advertising and marketing materials to ensure consistency and high standards of disclosure.

Required:

• Advanced degree in law or business or CFA desirable.


• Prior experience and knowledge with products such as fixed income, derivatives, loan investments, interest rate swaps, mortgage backed securities and other fixed income structures.


• Knowledge of Investment Advisory laws and securities related laws and rules (40 Act, 33 and 34 Acts.)


• Hands on compliance experience as either a compliance officer in an investment bank or institutional asset management firm or regulator in the securities industry.


• Excellent project management and organizational skills.


• 5 to 10 years experience, preferably with an investment firm or regulator


• Prior FINRA/SEC experience desirable.